CPM 2009/2 ANNEX 4
Draft ISPM
INTERNATIONAL STANDARDS FOR
PHYTOSANITARY MEASURES
ISPM No. --
[1] CATEGORIZATION OF COMMODITIES
ACCORDING TO THEIR pest RISK
(200-)
[2] CONTENTS
INTRODUCTION
SCOPE
REFERENCES
DEFINITIONS
OUTLINE OF REQUIREMENTS
BACKGROUND
REQUIREMENTS
1. Elements of Categorization of Commodities according to their Pest Risk
1.1 Method and degree of processing before export
1.2 Intended use of the commodity
2. Commodity Categories
Annex 1
Methods of commercial processing with resultant commodities that do not remain capable of being infested with pests
ANNEX 2
Methods of commercial processing with resultant commodities that remain capable of being infested with quarantine pests
Appendix 1
Flow chart illustrating categorization of commodities according to their pest risk
APPENDIX 2
Illustrating examples for commodities falling under category 1
[3] INTRODUCTION
[4] SCOPE
[5] This standard provides criteria for National Plant Protection Organizations (NPPOs) of importing countries on how to categorize commodities according to their pest risk when considering import requirements. This categorization should help in identifying whether further risk analysis is required or not.
[6] The first stage of categorization is based on whether the commodity has been processed and, if so, the method and degree of processing to which the commodity has been subjected before export. The second stage of categorization of commodities is based on their intended use after import.
[7] Contaminating pests or storage pests that may become associated with the commodity after processing are not considered in this standard.
[8] REFERENCES
[9] Glossary of phytosanitary terms, 2008. ISPM No. 5, FAO, Rome.
[10] Guidelines for a phytosanitary import regulatory system, 2004. ISPM No. 20, FAO, Rome.
[11] Guidelines for inspection, 2005. ISPM No. 23, FAO, Rome.
[12] Guidelines for phytosanitary certificates, 2001. ISPM No. 12, FAO, Rome.
[13] Guidelines for regulating wood packaging material in international trade, 2002. ISPM No. 15, FAO, Rome.
[14] International Plant Protection Convention, 1997. FAO, Rome.
[15] Pest risk analysis for quarantine pests including analysis of environmental risks and living modified organisms, 2004. ISPM No. 11, FAO, Rome.
[16] Pest risk analysis for regulated non-quarantine pests, 2004. ISPM No. 21, FAO, Rome.
[17] Regulated non-quarantine pests: concept and application, 2002. ISPM No. 16, FAO, Rome.
[18] DEFINITIONS
[19] Definitions of phytosanitary terms used in the present standard can be found in ISPM No. 5 (Glossary of phytosanitary terms, 2008).
[20] OUTLINE OF REQUIREMENTS
[21] The concept of categorization of commodities according to their pest risk considers whether the product has been processed, and if so, the method and degree of processing to which it has been subjected and the commodity’s intended use and consequent potential of this pathway for the introduction and spread of regulated pests.
[22] This allows pest risks associated with specific commodities to be assigned to categories. The objective of such categorization is to provide importing countries with criteria to better identify the need for a pathway-initiated pest risk analysis (PRA) and to facilitate the decision-making process regarding the possible establishment of import requirements.
[23] Four categories are identified, which group commodities according to their level of pest risk (two for processed commodities, two for unprocessed commodities). Lists of the methods of processing and the associated resultant commodities are provided.
[24] BACKGROUND
[25] As a result of the method of processing to which they have been subjected, some commodities moving in international trade remove the probability of entry of pests and so should not be regulated (i.e. phytosanitary measures are not required). Other commodities, after processing, may still present a pest risk and so may be subject to appropriate phytosanitary measures.
[26] Some intended uses of commodities (e.g. planting) have a much higher probability of introducing pests than others (e.g. processing) (see ISPM No. 11: Pest risk analysis for quarantine pests including analysis of environmental risks and living modified organisms, 2004, section 2.2.1.5).
[27] The concept of categorization of commodities according to their pest risk firstly considers if the commodity is processed or not and if so, the effect of the method and degree of processing to which a commodity has been subjected. Secondly, it considers the intended use and consequent potential as a pathway for introduction of regulated pests.
[28] The objective of this standard is to categorize commodities according to their pest risk to provide National Plant Protection Organizations (NPPOs) of importing countries with criteria to better identify whether there is a need for a pathway-initiated PRA and facilitate the decision-making process.
[29] Article VI.1b of the IPPC states: “Contracting parties may require phytosanitary measures for quarantine pests and regulated non-quarantine pests, provided that such measures are … limited to what is necessary to protect plant health and/or safeguard the intended use ….” This standard is based on the concepts of intended use of a commodity and the method and degree of its processing, which are also addressed in other ISPMs as outlined below.
[30] Method and degree of processing:
- ISPM No. 12 (Guidelines for phytosanitary certificates, 2001), section 1.1, states: “Importing countries should only require phytosanitary certificates for regulated articles. …
“Phytosanitary certificates may also be used for certain plant products that have been processed where such products, by their nature or that of their processing, have a potential for introducing regulated pests (e.g. wood, cotton). …
“Importing countries should not require phytosanitary certificates for plant products that have been processed in such a way that they have no potential for introducing regulated pests, or for other articles that do not require phytosanitary measures.”
- ISPM No. 15 (Guidelines for regulating wood packaging material in international trade, 2002), section 2, states: “Wood packaging made wholly of wood-based products such as plywood, particle board, oriented strand board or veneer that have been created using glue, heat and pressure, or a combination thereof, should be considered sufficiently processed to have eliminated the risk associated with the raw wood. It is unlikely to be infested by raw wood pests during its use and therefore should not be regulated for these pests.”
- ISPM No. 23 (Guidelines for inspection, 2005), section 2.3.2, states: “Inspection can be used to verify the compliance with some phytosanitary requirements.” Examples include degree of processing.
[31] Intended use:
- ISPM No. 11 (Pest risk analysis for quarantine pests including analysis of environmental risks and living modified organisms, 2004), sections 2.2.1.5 and 2.2.3. When analysing the probabilities of transfer of pests to a suitable host and of their spread after establishment, one of the factors to be considered is the intended use of the commodity.
- ISPM No. 12 (Guidelines for phytosanitary certificates, 2001), section 2.1. Different phytosanitary requirements may apply to the different intended end uses as indicated on the phytosanitary certificate.
- ISPM No. 16 (Regulated non-quarantine pests: concept and application, 2002), section 4.2. Risk of economically unacceptable impact varies with different pests, commodities and intended use.
- ISPM No. 21 (Pest risk analysis for regulated non-quarantine pests, 2004), which uses extensively the concept of intended use.
[32] Method and degree of processing together with intended use:
- ISPM No. 20 (Guidelines for a phytosanitary import regulatory system, 2004), section 5.1.4, indicates that PRA may be done on a specific pest or on all the pests associated with a particular pathway (e.g. a commodity). A commodity may be classified by its degree of processing and/or its intended use.
- ISPM No. 23 (Guidelines for inspection, 2005), section 1.5. One of the factors to decide the use of inspection as a phytosanitary measure is the commodity type and intended use.
[33] REQUIREMENTS
[34] The use of the categories by NPPOs in determining any phytosanitary regulations should take into account, in particular, the principles of technical justification, pest risk analysis, managed risk, minimal impact, harmonization and sovereignty.
[35] When the import requirements for a commodity need to be determined, the importing country may categorize the commodity according to its pest risk. Such categorization may be used to distinguish groups of commodities for which further analysis is required from those that do not have the potential to introduce and spread regulated pests. In order to categorize the commodity, the following should be considered:
- method and degree of processing
- intended use of the commodity.
[36] Having evaluated the method and degree of processing taking into consideration the intended use, the NPPO of the importing country makes a decision on the import requirements for the commodity.
[37] This standard does not consider cases of deviation from intended use (e.g. grain for milling used as seed for sowing).
[38] 1. Elements of Categorization of Commodities according to their Pest Risk
[39] To identify a commodity’s associated pest risk, the method and degree of processing to which a commodity has been subjected should be considered before its intended use. The method and degree of processing, by itself, could significantly change the nature of the commodity, so that it does not remain capable of being infested with pests. Such a commodity should not be deemed to require phytosanitary certification[1].
[40] However, if, after processing, a commodity may remain capable of being infested with pests, the intended use should then be considered.
[41] 1.1 Method and degree of processing before export
[42] The primary objective of the processes addressed in this standard is to modify a commodity for other than phytosanitary purposes, but processing may also have an effect on any associated pest, and hence affect the potential of the commodity to be infested with quarantine pests.
[43] The NPPOs of the importing countries need to know the method of processing undertaken in order to categorize the commodity. In some cases it is also necessary to know the degree of processing (e.g. temperature and heating duration) that affects the physical or chemical properties.
[44] The NPPOs of the importing countries may request information to the NPPOs of exporting countries about the method and degree of processing and its verification, if appropriate (e.g. when the degree of processing is not evident).
[45] Based on the method and degree of processing, commodities can be broadly divided into three types as follows:
- processed to the point where the commodity does not remain capable of being infested with pests
- processed to a point where the commodity remains capable of being infested with quarantine pests
- not processed.
[46] If an assessment of the method and degree of processing concludes that a commodity does not remain capable of being infested with quarantine pests, there is no need to consider intended use and the commodity should not be regulated. However, if an assessment of the method and degree of processing concludes that a commodity remains capable of being infested with quarantine pests, the intended use should then be considered.
[47] For non-processed commodities the intended use should always be considered.
[48] 1.2 Intended use of the commodity
[49] Intended use is defined as the declared purpose for which plants, plant products or other regulated articles are imported, produced or used (ISPM No. 5: Glossary of phytosanitary terms, 2008). The intended use of a commodity may be for:
- planting
- consumption and other uses (e.g. crafts, decorative products, cut flowers)
- processing.
[50] The intended use may affect a commodity’s pest risk, as some intended uses may allow for the establishment or spread of regulated pests. Some intended uses of the commodity (e.g. planting) are associated with a higher probability of a regulated pest establishing than others (e.g. processing). This may result in the application of different phytosanitary measures for a commodity based on its intended use (e.g. soybean seed for sowing and soybean grain for human consumption). Any phytosanitary measures applied should be proportional to the pest risk identified.
[51] 2. Commodity Categories
[52] NPPOs may categorize a commodity by taking into account if it has been processed or not. If it has been processed, then the method and degree of processing should be considered.
[53] Each commodity category is described below, along with guidance on the need for phytosanitary measures.
[54] The analytical process outlined in this ISPM is illustrated in the flow chart of Appendix 1.
[55] Category 1. Commodities have been processed to the point where they do not remain capable of being infested with pests. Hence, no phytosanitary measures should be applicable. Annex 1 provides examples of processes and the resultant commodities that can meet the criteria for category 1. Furthermore, Appendix 2 provides some illustrative examples of commodities meeting the criteria for category 1.
[56] Category 2. Commodities have been processed but remain capable of being infested with some quarantine pests. The intended use may be, for example, consumption or further processing. The NPPO of the importing country may determine that a PRA is necessary. Annex 2 provides examples of processes and the resultant commodities that can meet the criteria for category 2.
[57] Although commodities in category 2 have been processed, the processing method may not completely eliminate all quarantine pests. If it is determined that the method and degree of processing do not eliminate the pest risk of quarantine pests, consideration should then be given to the intended use of the commodity in order to evaluate the probability of establishment and spread of the quarantine pests. In this case, a PRA may be needed to determine this.
[58] To facilitate the categorization, exporting countries should, on request, provide detailed information on method or degree of processing (such as temperature, exposure time, size of particles) in order to assist importing countries in determining to which category the commodity should be assigned.
[59] In cases where the evaluation of the effect of the method and degree of processing has determined that the processed commodity presents no pest risk and therefore should not be subject to phytosanitary measures, the commodity should be reclassified into category 1.
[60] Category 3. Commodities have not been processed and the intended use is, for example, consumption or processing. PRA is necessary to identify the pest risks related to this pathway.